FINRA Fine Archives - Securities & Investment Lawyer

Steven Romjue Suspended by FINRA

Jul 6, 2022 FINRA Fine

Steven Romjue (CRD #: 1822291), a previously registered broker with Morgan Stanley, has been suspended by FINRA, according to his BrokerCheck record, accessed on June […]

Patrick Teutonico Suspended by FINRA Following Allegations that He Executed Excessive Trades

Jun 29, 2022 Excessive Trading

Patrick Teutonico (CRD #: 2875434), a broker registered with Network 1 Financial Securities, has been suspended by FINRA, according to his BrokerCheck record, accessed on […]

First Allied Ordered to Pay $2.6 Million Award Following Recommendations of Risky Non-Traded REITs

Jun 6, 2022 Articles

First Allied investors should review their portfolios to check if they recently lost money on risky, non-traded REITs. In March of 2022, FINRA ordered First […]

Mark Giordano Resigns from Cetera Financial Specialists

Jun 6, 2022 Employment

Mark Giordano (CRD #: 4052216), a former broker, resigned from Cetera Financial Specialists, according to his BrokerCheck record, accessed on May 28, 2022. His resignation […]

Andrew Elsoffer Faces Two-Year Suspension from FINRA

May 27, 2022 FINRA Fine

Andrew Elsoffer (CRD #: 2580009), a former broker, has been suspended from FINRA, according to his BrokerCheck record, accessed on May 19, 2022. Keep reading […]

Jayanth Hebbar Fined and Suspended by FINRA

May 23, 2022 FINRA Fine

Jayanth Hebbar (CRD #: 5244889), a suspended stock broker, allegedly broker FINRA rules. This is according to his BrokerCheck record, accessed on May 16, 2022. […]

UBS and Morgan Stanley Face Regulatory Fines Over their Failure to Report Transactions

May 17, 2022 Articles

FINRA has fined UBS and Morgan Stanley for failing to report transactions. Transaction reports affect share prices and can impact investors’ decisions to buy or […]

Steven Barnett Suspended from FINRA

May 11, 2022 FINRA Fine

Steven Barnett (CRD #: 1143510), a former broker, was temporarily suspended by FINRA, according to his BrokerCheck record, accessed on May 8, 2022. Read on […]

Patrick O’Neill Resigns from Silver Leaf Partners Following FINRA Suspension

May 11, 2022 FINRA Fine

Patrick O’Neill (CRD #: 2615841) has been suspended by FINRA, according to his BrokerCheck record, accessed on May 6, 2022. Read on if you have […]

Michael Muratore Suspended by FINRA

May 11, 2022 FINRA Fine

Michael Muratore (CRD #: 4852412) has been suspended by FINRA, according to his BrokerCheck record, accessed on May 5, 2022. Read on if you have […]

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